"Brokers are more sensitive to these costs than the plan participants because they have direct relationships with retail investors, but they, too, as I have ...
"Regulators need effective tools to keep pace with these changes, especially considering the potential for new technologies like AI to rapidly amplify the magnitude and ...
"The faster the CAT is completed the sooner investors in our markets can realize the full benefits from the strengthened market oversight it is designed ...
CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...